Personnel SFC Licences and HKMA Registrations (ID 2586162)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Jefferies Hong Kong Limited	Rep	Advising on corporate finance	2023-08-14	-
	Rep	Advising on securities	2023-08-14	-
	Rep	Dealing in securities	2023-08-14	-
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on securities	2019-06-20	2023-02-20
	Rep	Advising on corporate finance	2019-06-14	2023-02-20
	Rep	Dealing in securities	2019-06-14	2023-02-20
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2017-11-30	2019-04-26
	Rep	Advising on securities	2016-06-01	2017-10-12
	Rep	Dealing in securities	2016-06-01	2019-04-26

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.